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Showing 131 to 140 of 206 search results for final notice refers to breaches of APER 6 and FIT related.
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Final Notice 2016: Dale Robert Walker [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: Alan Taylor [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2017: Raj Von Badlo [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2020: Jason Taylor [pdf]
This final notice (Jason Taylor) refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
FCA Final Notice 2014: Anthony Verrier [pdf]
This final notice refers to breaches of FIT related to lack of fitness and propritey in the trading firms sector. We imposed a prohibition. -
Final Notice 2017: Adam Lancelot [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the Investment Adviser sector. We imposed a prohibition. -
Final Notice 2016: Adam Philip Hawkins [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition. -
Final Notice 2018: Andrew Hind [pdf]
This final notice (Andrew Hind) refers to breaches of FIT related to a lack of fitness/propriety in the asset management sector. We imposed a prohibition. -
Final Notice 2024: Clive Harris Mongelard [pdf]
“This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.” -
Final Notice 2015: Paul Christopher Ridden [pdf]
This final notice refers to breaches of FIT, related to threshold conditions in the consumer credit sector. We imposed a cancellation.